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New Issue Rule Sample Clauses

New Issue Rule. FINRA Rule 5130.
Sample 1Sample 2Sample 3See All (5)
New Issue Rule. (FINRA RULE 5130) (CHECK ONE BOX ONLY) The undersigned hereby certifies, on behalf of each account for which it purchases new issues on or after the date hereof, that: The account(s) is eligible to purchase new issues either because no restricted person (which includes those accounts that satisfy a general exemption listed on Annex A and/or, are not restricted persons based on the definition set forth in Annex A) holds a beneficial interest in the account(s), or because the account(s) has implemented procedures to reduce the beneficial interests of all restricted persons with respect to new issues to below in the aggregate 10%, and the undersigned hereby represents that it will follow such procedures in connection with the purchase by the account(s) of all new issues; The undersigned is a conduit (such as a bank, foreign bank, broker/dealer or investment adviser) and all purchases of new issues are, and will be, in compliance with the New Issue Rule. If the beneficial interests of all restricted persons in any one account(s) exceeds in the aggregate 10% of the account(s) but the account(s) has implemented procedures to reduce the beneficial interest of all restricted persons with respect to new issues to below in the aggregate 10%, the Investor hereby represents that it will follow such procedures in connection with the purchase by the account(s) of all new issues.
Sample 1

Related to New Issue Rule

  • Procedure for resolving issues As soon as possible after an issue has been reported, the Employer’s Site Safety Supervisor or another management representative and the Health and Safety Representative must meet and try to resolve the issue. The resolution of the relevant issue must take into account any of the following factors that may be relevant- (a) whether the hazard or risk can be isolated (b) the number and location of Employees affected by it; (c) whether appropriate temporary measures are possible or desirable; (d) whether environmental monitoring is desirable; (e) the time that may elapse before the hazard or risk is permanently corrected; (f) who is responsible for performing and overseeing the removal of the hazard or risk.

Most Referenced Clauses

Most Referenced Definitions